Our Staff has compiled our research into a database of FINRA Broker Disclosures for . Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Samuel Louis Hebert | 2679181 | 7 | 09/12/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Simon John Ellis | 2766146 | 2 | 09/11/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gillian Carole Lotz Hopkins | 4126198 | 6 | 08/19/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Toria N Troxel | 7247865 | 1 | 07/16/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gillian Carole Lotz Hopkins | 4126198 | 6 | 07/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brendan Geggatt | 5864724 | 1 | 06/24/2014 | Customer Dispute | Settled | $10,635.00 | $0.00 | See FINRA Report |
| Bradley Dufrane | 2656156 | 3 | 06/17/2014 | Customer Dispute | Denied | $20,428.70 | $0.00 | See FINRA Report |
| Bryan Schimmel | 5855061 | 2 | 06/08/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Monty Alan Alspaugh | 4201153 | 6 | 04/23/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Harris Eliot Kagan | 1439997 | 1 | 04/14/2014 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |